) (name of the NRI CIS) Legal entity refers to the legal form of Thai CIS. CIS in Thailand is set up as a legal entity separate from the CIS Operator. In short, after obtaining approval from the SEC
CIS. CIS in Thailand is set up as a legal entity separate from the CIS Operator. In short, after obtaining approval from the SEC Thailand to set up a mutual fund and offer investment units to investors
securities company shall separate the work units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for
opportunity to access such insider information and the work units and personnel who have the opportunity to take advantage of such insider information. Clause 6 A securities company shall separate the work
private fund assets; □ (3) Operation system that allows the custodian to operate efficiently shall include at least the following: □ (3.1) System to separate client’s assets from custodian’s assets, safe
to separate client’s assets from custodian’s assets, safe keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to
will be more flexible than the case that the Company has production plants on separate lands. The above future project is still uncertain and, in the event that the Company has acquired the assets, it
pay a separate fee as derivatives selling agent at an amount not less than 25,000 baht per year and not more than 1 million baht per year. In the case where a licensee has suspended the operation of all
conflict of interests which may arise in the securities borrowing and lending business, in the case where the business operator has a proprietary account, the business operator shall separate the unit which